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Complaints received from clients against Trading Members (TMs) during 2011-12

Last updated on 14-Nov-2014

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DETAILS OF COMPLAINT DETAILS OF TM STATUS OF COMPLAINT
SN DATE OF RECEIPT NAME OF CLIENT TYPE OF COMPLAINT* NAME OF TM MARKET SEGMENT IF DEFAULTER DATE OF ITS DECLARATION STATUS** STATUS DATE## DATE OF FILING ARBITRATION NAME OF ARBITRATOR(S) DATE OF ARBITRATION AWARD
1 01-Apr-2011 Sreekanth Jois Type I & II RELIGARE SECURITIES LTD. Capital Market - Resolved 17-Jun-2011 - - -
2 01-Apr-2011 Gnanasekaran Balaji Type IX RELIGARE SECURITIES LTD. Capital Market - Resolved 26-May-2011 - - -
3 01-Apr-2011 Nidhi V Chawla Type I & II KARVY STOCK BROKING LTD. Capital Market - Resolved 16-Apr-2011 - - -
4 01-Apr-2011 Geeta Choubey Type IV & VI ENAM SECURITIES DIRECT PRIVATE LIMITED Capital Market - Resolved 22-Jul-2011 - - -
5 01-Apr-2011 Debajani Dash Type I & II ADITYA TRADING SOLUTIONS Capital Market - Resolved 06-Apr-2011 - - -
6 01-Apr-2011 Sumit Madan Type IV & VI K & A SECURITIES (P) LTD. Capital Market - Resolved 06-Apr-2011 - - -
7 04-Apr-2011 Kusum Banwal Type IV & VI RELIGARE SECURITIES LTD. Capital Market - Resolved 31-May-2011 - - -
8 04-Apr-2011 Neelima Hemkar Type IV & VI RELIGARE SECURITIES LTD. Capital Market - Resolved 13-Apr-2011 - - -
9 04-Apr-2011 Mohammad Siddiquie Type I & II ANAND RATHI SHARE AND STOCK BROKERS LIMITED Capital Market - Resolved 02-Jun-2011 - - -
10 04-Apr-2011 Lalit Sharma Type IX ICICI SECURITIES LIMITED Capital Market - Resolved 04-Aug-2011 - - -
11 04-Apr-2011 Chaitanya Soni Type V ICICI SECURITIES LIMITED Future & Options - Resolved 05-May-2011 - - -
12 04-Apr-2011 Harpreet Kaur Type V INDIABULLS SECURITIES LTD. Capital Market - Resolved 13-Jul-2011 - - -
13 04-Apr-2011 Alok Mishra Type IV & VI ALANKIT ASSIGNMENTS LTD. Capital Market - Resolved 05-Aug-2011 - - -
14 04-Apr-2011 Satyapal Sharma Type IV & VI SBICAP SECURITIES LIMITED Capital Market - Resolved 24-Oct-2011 04-Jul-2012 Mr. RAVI KANT 21-Nov-2012
15 04-Apr-2011 Priyanka Agarwal Type I & II ANGEL BROKING LIMITED Capital Market - Resolved 11-Aug-2011 - - -
16 04-Apr-2011 Smriti Type I & II ANGEL BROKING LIMITED Capital Market - Resolved 08-Jun-2011 - - -
17 05-Apr-2011 Rajan Walia Type V RBS EQUITIES (INDIA) LIMITED Capital Market - Resolved 09-Jun-2011 - - -
18 05-Apr-2011 Samarth Shah Type V SHAH INVESTOR'S HOME LIMITED Capital Market - Resolved 18-Apr-2011 - - -
19 05-Apr-2011 Balbirchand Agarwal Type I & II INDIABULLS SECURITIES LTD. Capital Market - Resolved 09-Nov-2011 - - -
20 05-Apr-2011 Anil Hari Chandolikar Type V INDIABULLS SECURITIES LTD. Capital Market - Resolved 18-May-2011 - - -
21 05-Apr-2011 Rameshchandra Somani Type I & II INDIABULLS SECURITIES LTD. Capital Market - Resolved 18-Apr-2011 - - -
22 05-Apr-2011 Pramod Jadhav Type IV & VI INVENTURE GROWTH & SECURITIES LIMITED Capital Market - Resolved 18-May-2011 - - -
23 05-Apr-2011 Anil Dubey Type V EMKAY GLOBAL FINANCIAL SERVICES LIMITED Future & Options - Resolved 19-May-2011 21-Mar-2012 Arup Ratan Chattopadhyay 17-Aug-2012
24 05-Apr-2011 Bhushan S Punamiya Type V SHRIRAM INSIGHT SHARE BROKERS LIMITED Capital Market - Resolved 19-May-2011 - - -
25 05-Apr-2011 Mahesh Chandra Type III MOTILAL OSWAL SECURITIES LTD. Capital Market - Resolved 07-Jul-2011 - - -
26 05-Apr-2011 Rakesh Dolarrai Vasavada Type V MOTILAL OSWAL SECURITIES LTD. Capital Market - Resolved 09-Jun-2011 - - -
27 05-Apr-2011 Hansa Sheth Type V RELIANCE SECURITIES LIMITED Capital Market - Resolved 18-May-2011 - - -
28 05-Apr-2011 Akhand Pratap Singh Type V EDELWEISS BROKING LIMITED Capital Market - Resolved 18-Apr-2011 - - -
29 05-Apr-2011 Arun Kher Type V DESTIMONEY SECURITIES PRIVATE LIMITED Future & Options - Resolved 16-May-2011 - - -
30 05-Apr-2011 Joju Thanisserikaran Varghese Type V ZERODHA Future & Options - Resolved 13-May-2011 - - -
31 06-Apr-2011 Manharlal C Parikh Huf Type I & II INTERFACE BROKERAGE & RESEARCH LTD. Capital Market - Opted for Arbitration 19-Aug-2011 - - -
32 06-Apr-2011 Purushottam Thakare Type V KARVY STOCK BROKING LTD. Capital Market - Resolved 22-Jun-2011 - - -
33 06-Apr-2011 Mrunal Sawant Type V KARVY STOCK BROKING LTD. Capital Market - Resolved 22-Aug-2011 - - -
34 06-Apr-2011 Bansilal C Mahorowala Type I & II JM FINANCIAL SERVICES PRIVATE LIMITED Capital Market - Resolved 21-Apr-2011 - - -
35 06-Apr-2011 Prakash Deshmukh Type V SHAREKHAN LTD. Future & Options - Resolved 09-May-2011 - - -
36 06-Apr-2011 Mahesh Chandra Type III SHAREKHAN LTD. Capital Market - Resolved 06-May-2011 - - -
37 06-Apr-2011 Sanskar Tanmor Type V SHAREKHAN LTD. Capital Market - Resolved 29-Apr-2011 - - -
38 06-Apr-2011 Parag Chandragupta Prasad Type V SHAREKHAN LTD. Capital Market - Resolved 12-May-2011 - - -
39 06-Apr-2011 Mital Prakash Suthar Type I & II SHAREKHAN LTD. Capital Market - Resolved 09-May-2011 - - -
40 06-Apr-2011 Sapana D Bhattar Type V HSBC INVESTDIRECT SECURITIES (INDIA) LIMITED Capital Market - Resolved 17-Jun-2011 - - -
41 06-Apr-2011 Satar Ambalath Type IV & VI BONANZA PORTFOLIO LTD. Capital Market - Resolved 26-May-2011 - - -
42 06-Apr-2011 Sanchita Choudhury Type V RELIGARE SECURITIES LTD. Capital Market - Resolved 24-Jun-2011 - - -
43 06-Apr-2011 J Sampath Type V COIMBATORE CAPITAL LIMITED Capital Market - Resolved 25-Apr-2011 - - -
44 06-Apr-2011 Jamuna M Reddy Type I & II KARVY STOCK BROKING LTD. Capital Market - Resolved 05-May-2011 - - -
45 06-Apr-2011 Sivakumar R Type III KARVY STOCK BROKING LTD. Capital Market - Resolved 21-Apr-2011 - - -
46 06-Apr-2011 Deepak Jain Type V ICICI SECURITIES LIMITED Capital Market - Resolved 27-Apr-2011 - - -
47 06-Apr-2011 Malliga R Type V NIRMAL BANG SECURITIES PVT. LTD. Capital Market - Resolved 02-May-2011 - - -
48 06-Apr-2011 Vaddu Chandrakanth Type IX SHILPA STOCK BROKER PRIVATE LIMITED Capital Market - Resolved 30-May-2011 - - -
49 06-Apr-2011 Ravi Kumar Type IV & VI ANGEL BROKING LIMITED Capital Market - Resolved 27-Apr-2011 - - -
50 06-Apr-2011 Ananthakrishnan Sunder Type I & II DBFS SECURITIES LIMITED Capital Market - Resolved 21-Apr-2011 - - -
51 06-Apr-2011 Chandrika N Type IV & VI HSBC INVESTDIRECT SECURITIES (INDIA) LIMITED Capital Market - Resolved 24-Jun-2011 - - -
52 06-Apr-2011 Yesudas C V Type V ADITYA BIRLA MONEY LIMITED Capital Market - Resolved 27-May-2011 - - -
53 06-Apr-2011 Kalpana Kabra Type IX ANGEL BROKING LIMITED Capital Market - Resolved 06-Apr-2011 - - -
54 06-Apr-2011 Sangeeta Sharma Type I & II ARIHANT CAPITAL MARKETS LIMITED Capital Market - Resolved 25-Apr-2011 - - -
55 06-Apr-2011 Neeraj Garg Type IX SHRI PARASRAM HOLDINGS PVT. LTD. Capital Market - Resolved 19-Apr-2011 - - -
56 06-Apr-2011 Kanchan Singh Type I & II SHAREKHAN LTD. Capital Market - Resolved 02-Sep-2011 - - -
57 06-Apr-2011 Renu Jain Type IV & VI INDIA INFOLINE LTD. Capital Market - Opted for Arbitration 30-Jun-2011 - - -
58 06-Apr-2011 Subhash Arora Type V TR CAPITAL LIMITED Capital Market - Resolved 13-Apr-2011 - - -
59 06-Apr-2011 Pawan Arora Type V HSBC INVESTDIRECT SECURITIES (INDIA) LIMITED Capital Market - Resolved 09-May-2011 - - -
60 07-Apr-2011 Ramaninder Singh Jhajj Type V KOTAK SECURITIES LTD. Capital Market - Resolved 28-Apr-2011 - - -
61 07-Apr-2011 Saifee A Daruwala Type V KOTAK SECURITIES LTD. Capital Market - Resolved 25-Apr-2011 - - -
62 07-Apr-2011 Bharti Girish Vora Type I & II LABDHI FINANCE CORPORATION Capital Market - Resolved 26-Apr-2011 - - -
63 07-Apr-2011 Satish Vasant Dharurkar Type IV & VI NIRMAL BANG SECURITIES PVT. LTD. Capital Market - Opted for Arbitration 06-Jul-2011 - - -
64 07-Apr-2011 M N Mahajan Type I & II MOTILAL OSWAL SECURITIES LTD. Capital Market - Resolved 16-May-2011 - - -
65 07-Apr-2011 Deepak Raghunath Wagle Type I & II RELIANCE SECURITIES LIMITED Capital Market - Resolved 29-Apr-2011 - - -
66 07-Apr-2011 Ram Chandiramani Type IV & VI ANGEL BROKING LIMITED Capital Market - Opted for Arbitration 14-Oct-2011 - - -
67 07-Apr-2011 Shakil Rangrej Type V ANGEL BROKING LIMITED Capital Market - Resolved 18-Oct-2011 - - -
68 07-Apr-2011 Nitin Vyas Type I & II ANGEL BROKING LIMITED Capital Market - Resolved 29-Apr-2011 - - -
69 07-Apr-2011 Vishnu Jitri Type IV & VI ANGEL BROKING LIMITED Capital Market - Resolved 01-Jun-2011 - - -
70 07-Apr-2011 Anup Shorewala Type V ANGEL BROKING LIMITED Capital Market - Resolved 02-May-2011 - - -
71 07-Apr-2011 Vijaya Killedar Type V ANGEL BROKING LIMITED Future & Options - Resolved 16-Aug-2011 - - -
72 07-Apr-2011 Suma Ashok Avate Type IV & VI ANGEL BROKING LIMITED Capital Market - Resolved 27-Jun-2011 - - -
73 07-Apr-2011 Ripalkumar Pradipbhai Shah Type IX ANGEL BROKING LIMITED Capital Market - Resolved 26-Jul-2011 - - -
74 07-Apr-2011 Sahdev R Tawade Type IV & VI ANGEL BROKING LIMITED Capital Market - Opted for Arbitration 13-Oct-2011 15-Apr-2014 Mr. Ramesh M Joshi 10-Sep-2014
75 07-Apr-2011 Malika Saha Type V ANGEL BROKING LIMITED Capital Market - Resolved 20-Dec-2011 - - -
76 07-Apr-2011 Ganesh Sampat Tanpure Type IV & VI ANGEL BROKING LIMITED Capital Market - Resolved 02-May-2011 - - -
77 07-Apr-2011 Sakshi Kumra Type I & II ANGEL BROKING LIMITED Capital Market - Resolved 17-May-2011 - - -
78 07-Apr-2011 Manendra Ramchandra Kolhe Type I & II ANGEL BROKING LIMITED Capital Market - Resolved 17-May-2011 - - -
79 07-Apr-2011 P K Jain Type V ANGEL BROKING LIMITED Capital Market - Resolved 23-May-2011 - - -
80 07-Apr-2011 Sangeeta Tibrewal Type V ICICI SECURITIES LIMITED Capital Market - Resolved 06-May-2011 - - -
81 07-Apr-2011 Dilip Kumar Dey Type V ICICI SECURITIES LIMITED Capital Market - Resolved 06-May-2011 - - -
82 07-Apr-2011 Anuranjan Parkash Type IX INDIA INFOLINE LTD. Capital Market - Resolved 26-Apr-2011 - - -
83 07-Apr-2011 Veena Kalra Type IX INDIA INFOLINE LTD. Capital Market - Resolved 24-Jun-2011 - - -
84 08-Apr-2011 Jyoti Chandan Puraswani Type I & II ALKA SECURITIES LTD Capital Market - Resolved 28-May-2013 05-Jul-2013 MR BABULAL KISANLAL MUNDADA 08-Aug-2013
85 08-Apr-2011 Arvind Ramesh Shahu Type I & II ALKA SECURITIES LTD Capital Market - Resolved 28-May-2013 11-Jun-2013 MR RASHESH KANTILAL GANDHI 06-Sep-2013
86 08-Apr-2011 Nirmaladevi M Motwani Type I & II ALKA SECURITIES LTD Capital Market - Resolved 28-May-2013 25-Jun-2013 MR DWARKANATH ANNAPPA KAMAT 20-Sep-2013
87 08-Apr-2011 Tribhuwan Sharma Type IV & VI BONANZA PORTFOLIO LTD. Capital Market - Resolved 29-Apr-2011 - - -
88 08-Apr-2011 Venkata Ratnakar Type I & II IDBI CAPITAL MARKET SERVICES LTD. Capital Market - Resolved 13-May-2011 - - -
89 08-Apr-2011 Subhash Fulchand Bafna Type IV & VI ARCADIA SHARE & STOCK BROKERS PRIVATE LIMITED Capital Market - Resolved 22-Jul-2011 - - -
90 08-Apr-2011 Hetal Mahendra Kara Type IV & VI ARCADIA SHARE & STOCK BROKERS PRIVATE LIMITED Capital Market - Resolved 17-May-2011 - - -
91 08-Apr-2011 Bharatkumar Doshi Type III ARIHANT CAPITAL MARKETS LIMITED Future & Options - Resolved 27-Apr-2011 - - -
92 08-Apr-2011 Anish Mishra Type V R K GLOBAL SHARES & SECURITIES LIMITED Capital Market - Resolved 08-Apr-2011 - - -
93 08-Apr-2011 Mahesh Hamne Type V INDIA INFOLINE LTD. Future & Options - Resolved 16-May-2011 - - -
94 08-Apr-2011 Sabita Kumari Type IX INDIA INFOLINE LTD. Capital Market - Resolved 30-Apr-2011 - - -
95 08-Apr-2011 Ramesh Joseph Type IV & VI INDIA INFOLINE LTD. Capital Market - Resolved 15-Jun-2011 - - -
96 08-Apr-2011 Sewak Ram Dehariya Type I & II INDIA INFOLINE LTD. Capital Market - Resolved 05-Aug-2011 - - -
97 08-Apr-2011 Araafat A Shaikh Type V INDIA INFOLINE LTD. Capital Market - Resolved 14-Nov-2011 - - -
98 08-Apr-2011 K J Rao Type IV & VI INDIA INFOLINE LTD. Capital Market - Resolved 22-Jul-2011 - - -
99 08-Apr-2011 Devang K Khamar Type IV & VI INDIA INFOLINE LTD. Capital Market - Resolved 14-Oct-2011 - - -
100 08-Apr-2011 Abhaykumar Pannalal Patani Type I & II HEM FINLEASE PVT. LTD. Capital Market - Resolved 19-May-2011 - - -

In all there are 5394 records of which only 100 are displayed on the page. Kindly download the xls file to view all records.

Download the file to view all records. (.xls)

* Type of Complaints
TypeDescription
INon-receipt / delay in payment:
I aDelay in payment
I bNon-receipt of payment
I cDelay in refund of margin payment
I dNon settlement of accounts
IINon-receipt / delay in securities:
II aDelay in delivery
II bNon-receipt of delivery
II cDelay in refund of margin deposit
II dNon settlement of accounts
IIINon-receipt of documents:
III aContract notes
III bBills
III cAccount statements
III dAgreement copies
IVUnauthorized trades / misappropriation:
IV aUnauthorized trades in client account
IV bmis-appropriation of client?s funds / securities
VService related:
V aExcess brokerage
V bNon-execution of order
V cWrong execution of order
V dConnectivity / system related problem
V eNon-receipt of corporate benefits
V fOther service defaults
VIClosing out / squaring up:
VI aClosing off / squaring up position without consent
VI bDispute in Auction value / close out value
VIINon implementation of arbitration award
VIIIIPO related
IXOthers
** Status
TypeDescription
INon actionable
I aComplaint incomplete
I bOutside the scope of stock exchange
IIResolved
IIIUnder Process
IVReferred to Arbitration